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Capital City Securities Sanctioned For The Failure To Supervise Keener

October 08, 2020 | Posted by : Guiliano Law Group | Churning, Excessive Trading, Failure To Supervise, Securities Arbitration Claims, Unauthorized Trading, Unsuitable Investment Recommendations | Comments Off

Capital City Securities LLC a securities broker dealer headquartered in Powell Ohio has been censured by Financial Industry Regulatory Authority (FINRA) based upon findings that Capital City failed to supervise the suitability of trades that its stockbrokers effected in customer accounts. Letter of Acceptance Waiver and Consent No. Letter of Acceptance Waiver and Consent No. […]

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Capital City Securities Sanctioned For The Failure To Supervise Keener

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